DFX Intelligence

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C••••••••• A••••••••• • M••••••••• C•••••• L••

Former SEC-registered adviserFormer SEC adviser3 private funds· Rancho Santa Fe, California

Former SEC-registered adviser, based in Rancho Santa Fe, California, reporting $39.1M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2021-03-29 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: $39.1M
Advisors: Not applicable
Net advisor flow, 12 months: Not applicable
RAUM change, last fiscal year: -38%
Private clients: 0.0% of RAUM

Advisors Advisor movement Where the RAUM sits

As of 2021-03-29 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Why this matters

Reported RAUM fell -38% over the last fiscal year, to $39.1M.
2021-03-29
RAUM a year earlier $63.0MRAUM now $39.1M

Every filed figure, and the identifiersCRD 138258 · SEC 801-65175 · 22 filingsShow

CRD 138258SEC 801-65175First filing on the tape Mar 30, 2012, latest Mar 29, 2021IAPD

RAUM

$39.1M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

3 advisory (5.B.1)

Offices

beyond the principal office

Private funds

$59.8M gross assets

History

22 filings and snapshots on the tape

RAUM$39.1M as of Mar 29, 2021

Mar 30, 2012$126M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 29, 2021

Apr 1, 20130 then

Employees (5.A)6 as of Mar 29, 2021

Apr 1, 20137 then

Private funds3 as of Mar 29, 2021

Mar 30, 20122 then

RAUM -38% over the last fiscal year-15% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 29, 2021; every figure names its basis

RAUM per advisor: unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor: unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client: unknownderivedHNW RAUM over HNW clients
Average account: $19.6MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: unknownderivedItem 5.A over advisors
Advisors per office: unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year: -38%derivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: percentage of assets, performance-basedreportedItem 5.E
Advisory activities: portfolio management for pooled vehiclesreportedItem 5.G
Custody: $39.1M, 2 clientsreportedItem 9.A
Ownership: no PE, bank or public-company owner found on Schedule Aderived
Advisor book size: not public; not estimatedreported

Also answered yes on Form ADV

has discretionary authority over which securities are bought or sold (8.C.1)
receives research or other products from a broker-dealer, soft dollars (8.E)
has custody of client cash or bank accounts (9.A.1.a)
has custody of client securities (9.A.1.b)
an independent public accountant performs a surprise examination (9.C.1)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Pooled investment vehicles$39.1M100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 2reported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: $39.1M for 2 clientsreported
Compensation: % of AUM, performancereported
Class basis: absent from the latest SEC rosterderived

Advisors registered through the firm

0 on IAPD today, longest tenure first

No representative is registered through this CRD on IAPD.

Advisor movement

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Private funds

4 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
A••••••• A•••••••• 2•••• L•	Hedge Fund	$20.7M	53	Mar 30, 2012
C•••••• R•••••• F••• L••	Hedge Fund	$20.6M	53	Apr 1, 2013
C•••••• R•••••••• F••• •••••••• L••	Hedge Fund	$18.6M	40	Sep 20, 2012
C•••••• C••••••••• M•••••••• F••• L••no longer reported	Hedge Fund	$37,855	19	Mar 30, 2012

Owners and control persons

Schedule A and B, latest filing

G•••••• D•••••• L•• · Chief Executive Officer, Pm, Managing Member, Ccocontrol
since 03/2009 · owns 75% or more
N••• S•• H••• · Chief Financial Officer, Elected Managercontrol
since 01/2015 · owns less than 5%

Related persons

Schedule D 7.A

No related person reported.

Advisers that list C••••••••• A••••••••• • M••••••••• C•••••• L•• as a related person

136172 n

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Assets in custody · $63.0M to $39.1M
Mar 26, 2020 to Mar 29, 2021
Discretionary RAUM · $63.0M to $39.1M
Mar 26, 2020 to Mar 29, 2021
Pooled vehicle RAUM · $63.0M to $39.1M
Mar 26, 2020 to Mar 29, 2021
RAUM · $63.0M to $39.1M
Mar 26, 2020 to Mar 29, 2021
Assets in custody · $68.5M to $63.0M
Mar 7, 2019 to Mar 26, 2020
Discretionary RAUM · $68.5M to $63.0M
Mar 7, 2019 to Mar 26, 2020
Pooled vehicle RAUM · $68.5M to $63.0M
Mar 7, 2019 to Mar 26, 2020
RAUM · $68.5M to $63.0M
Mar 7, 2019 to Mar 26, 2020
Accounts · 3 to 2
Jul 23, 2018 to Mar 7, 2019
Assets in custody · $63.6M to $68.5M
Jul 23, 2018 to Mar 7, 2019
Discretionary RAUM · $63.6M to $68.5M
Jul 23, 2018 to Mar 7, 2019
Pooled vehicle RAUM · $63.6M to $68.5M
Jul 23, 2018 to Mar 7, 2019
RAUM · $63.6M to $68.5M
Jul 23, 2018 to Mar 7, 2019
Assets in custody · $67.3M to $63.6M
Oct 19, 2017 to Mar 9, 2018
Discretionary RAUM · $67.3M to $63.6M
Oct 19, 2017 to Mar 9, 2018
Pooled vehicle RAUM · $67.3M to $63.6M
Oct 19, 2017 to Mar 9, 2018
RAUM · $67.3M to $63.6M
Oct 19, 2017 to Mar 9, 2018
Related broker-dealer · true to false
Oct 19, 2017 to Mar 9, 2018
BD registered reps · 5 to 0
Jul 19, 2017 to Oct 19, 2017
Pooled vehicle clients · unset to 2.0
Jul 19, 2017 to Oct 19, 2017
Assets in custody · $81.2M to $67.3M
Jul 19, 2017 to Oct 19, 2017
Employees · 7 to 6
Jul 19, 2017 to Oct 19, 2017
Other offices · unset to 0.0
Jul 19, 2017 to Oct 19, 2017
Discretionary RAUM · $81.2M to $67.3M
Jul 19, 2017 to Oct 19, 2017
Pooled vehicle RAUM · unset to 67344781.0
Jul 19, 2017 to Oct 19, 2017
RAUM · $81.2M to $67.3M
Jul 19, 2017 to Oct 19, 2017
Assets in custody · $101M to $81.2M
Jan 17, 2017 to Mar 27, 2017
Discretionary RAUM · $101M to $81.2M
Jan 17, 2017 to Mar 27, 2017
RAUM · $101M to $81.2M
Jan 17, 2017 to Mar 27, 2017
Assets in custody · $131M to $101M
Jan 14, 2016 to Mar 30, 2016
Discretionary RAUM · $131M to $101M
Jan 14, 2016 to Mar 30, 2016
RAUM · $131M to $101M
Jan 14, 2016 to Mar 30, 2016
Advisory employees · 4 to 3
Sep 5, 2014 to Mar 31, 2015
BD registered reps · 4 to 5
Sep 5, 2014 to Mar 31, 2015
Assets in custody · $102M to $131M
Sep 5, 2014 to Mar 31, 2015
Employees · 9 to 7
Sep 5, 2014 to Mar 31, 2015
Discretionary RAUM · $102M to $131M
Sep 5, 2014 to Mar 31, 2015
RAUM · $102M to $131M
Sep 5, 2014 to Mar 31, 2015
Accounts · 4 to 3
Apr 1, 2013 to Mar 29, 2014
BD registered reps · 3 to 4
Apr 1, 2013 to Mar 29, 2014

Signals

1 dated events

••• Locked
Mar 7, 2019 · Control person left · inference

Across DFX

shared identifiers only, never a name match

No identifier-backed link to the venture, private equity, family office or sponsor graphs.

Provenance

Form ADV: SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
Advisors: IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
Class: Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor: n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026